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Tag: Osman Nawaz
Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities
January 23, 2023
The Securities and Exchange Commission today announced settled charges against Bloomberg Finance L.P. (Bloomberg) for misleading disclosures relating to its paid subscription service, BVAL, which provides daily price valuations for...
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Barclays Agrees to a $361 Million Settlement to Resolve SEC Charges Relating to Over-Issuances of Securities
September 30, 2022
On September 29, 2022, the Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount...
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SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
September 28, 2022
Firms admit to wrongdoing and agree to pay penalties totaling more than $1.1 billion On Tuesday, September 27, 2022, the Securities and Exchange Commission announced charges against 15 broker-dealers and...
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